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The Dysphagia Outcome and Severity Scale

ARTICLE in DYSPHAGIA FEBRUARY 1999


Impact Factor: 2.03 DOI: 10.1007/PL00009595 Source: PubMed

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Retrieved on: 07 April 2016
Dysphagia 14:139145 (1999)

Springer-Verlag New York Inc. 1999

The Dysphagia Outcome and Severity Scale

Karen H. ONeil, MA, Mary Purdy, PhD, Janice Falk, MA, and Lanelle Gallo, MS
Hartford Hospital, Hartford, Connecticut, USA

Abstract. The Dysphagia Outcome and Severity Scale gists on observation of swallow deficits on videofluoro-
(DOSS) is a simple, easy-to-use, 7-point scale developed scopic examination and agreement of treatment recom-
to systematically rate the functional severity of dyspha- mendations. They stated that instances of high agree-
gia based on objective assessment and make recommen- ment among clinicians were not abundant [1]. Ekberg et
dations for diet level, independence level, and type of al. studied interrater reliability of radiologists on cinera-
nutrition. Intra- and interjudge reliabilities of the DOSS diographic assessments and found that interobserver
was established by four clinicians on 135 consecutive variability in cineradiographic assessment of pharyngeal
patients who underwent a modified barium swallow pro- function seems to be a major function of observer expe-
cedure at a large teaching hospital. Patients were as- rience [2]. There is also significant demand to deter-
signed a severity level, independence level, and nutri- mine the efficacy, effectiveness, and cost benefit of swal-
tional level based on three areas most associated with lowing therapy for large patient populations and within
final recommendations: oral stage bolus transfer, pharyn- individual treatment facilities. Currently, there is a pau-
geal stage retention, and airway protection. Results indi- city of research to assuage these demands, and clinicians
cate high interrater (90%) and intrarater (93%) agree- have few means of reliably documenting such functional
ment with this scale. Implications are suggested for use outcomes.
of the DOSS in documenting functional outcomes of Other areas in rehabilitation outcomes have been
swallowing and diet status based on objective assess- systematically and internationally studied with the func-
ment. tional independence measure (FIM) [3]. The FIM is one
of the most widely used methods of assessing basic qual-
Key words: Dysphagia Severity Scales Out-
ity of daily living in persons with disability [4]. The
come Videofluoroscopy Reliability Deglutition
FIM is a 7-point scale across 18 motor and cognitive/
Deglutition disorders.
social areas which allows a patients progress to be
charted reliably across a variety of settings, raters and
patients, as reviewed by Ottenbacher et al., with an
The demand for outcome data in dysphagia research has interrater reliability of 8999% [4]. Dysphagia is not
elevated in recent years with the expanding presence of currently an area on the FIM, but it is a common dis-
managed care, and the rapidly changing Medicare envi- ability of stroke patients in rehabilitation settings and of
ronment. Clinicians are challenged by third-party payers nursing home residents. The occurrence of dysphagia
and physicians to prove the validity and reliability of following stroke has been estimated at approximately
dysphagia assessments from which treatment recommen- 2545% [59]. Moreover, the incidence of dysphagia in
dations are made. However, the consistency of documen- nursing homes has been reported by Donner (1986) as
tation in evaluating dysphagia has not been encourag- 40% of the population [10]. To address the quality and
ingly high in the dysphagia literature to date. Wilcox et efficacy of care in these patients across clinicians and
al. [1] studied interjudge agreement of speech patholo- settings, a reliable and uniform measure of dysphagia
severity is necessary.
Currently there are scales available that clinicians
can use to subjectively qualify the level of dysphagia in
Correspondence to: Karen H. ONeil, M.A., Speech Pathology, Hart- adult populations. However, reliability of these measures
ford Hospital, 80 Seymour Street, Hartford, CT 06102, USA is unknown and there are no correlates to objective per-
140 K.H. ONeil et al.: Dysphagia Outcome and Severity Scale

formance. Cherney et al. described seven functional se- Scale Development


verity levels of dysphagia based on independence and
nutritional level in the RIC Clinical Evaluation of Dys- A retrospective and informal analysis of all MBS reports
phagia (CED) manual [11]. ASHA is currently field test- from a single month showed significant variability across
ing the ASHA Functional Communication Measure swal- and within clinicians on what was documented as mild,
lowing subscale for reliability [12]. This 7-point scale moderate, or severe dysphagia. There was also notable
also rates severity based on the patients ability to meet inconsistency in the recommendations for supervision,
nutritional needs and independence with compensatory diet consistency, and nutritional level based on the docu-
strategies. These scales do not attempt to relate severity mented MBS findings. The Dysphagia Outcome and Se-
to objective measures; thus, it is difficult to establish verity Scale (DOSS) was developed by four clinicians in
consistency in the documentation of patient care or cred- a large teaching hospital for the purpose of establishing
ibly claim significant changes in a patients condition. a consistent method of documentation and improved
A few investigators have developed scales that quality of care in patients objectively diagnosed with
relate dysphagia presentation on videofluoroscopic as- dysphagia.
sessment to severity and have then tested agreement; The first stage of development of the DOSS in-
however, they failed to incorporate functional levels of corporated three factors previously identified in the lit-
independence, diet, and nutrition, and reliability of these erature that allow for comparison among a wide range of
scales has not been especially high. Rosenbek et al. de- patients and changes within a single patient over time.
veloped the PenetrationAspiration Scale to describe
penetration and aspiration events and found the interrater 1. Level of independence. The scale was divided into
reliability to be 5775% between judge pairs and overall seven independence levels based on the FIM model
intrajudge reliability to be 74% for agreement of the and linked to severity. The initial levels were 7 within
same judge regrading 75 swallows [13]. Ott et al. de- normal limits, 6 (modified independence), 5 (distant
scribed four levels of severity (03) for a bedside swal- supervision), 4 (intermittent supervision), 3 (total su-
pervision), 2 (maximum assistance), and 1 (depen-
lowing assessment and modified barium swallow
dent/non-per-oral nutrition [NPO]).
(MBS): (a) mild dysphagia if bolus control and trans-
2. Level of nutrition. The scale was then divided into the
port were delayed or if mild stasis occurred without la-
two possible recommendations for nutrition and were
ryngeal penetration, (b) moderate dysphagia included
linked to severity level: levels 73 (full oral nutrition)
poor oral transport, pharyngeal stasis with all consisten-
and levels 21 (nonoral nutrition).
cies, laryngeal penetration or mild aspiration with only
3. Diet level and diet modifications. Guidelines for diet
one consistency, and (c) severe dysphagia was present
modifications were then added for each severity level
when substantial aspiration occurred or if the patient
that allowed oral intake: levels 76 (normal diet con-
failed to swallow [14]. They then determined agreement sistency), level 5 (may need one diet consistency re-
between the bedside and MBS severity ratings as 59% striction), level 4 (one to two diet consistency restric-
but did not present inter- or intrajudge reliabilities of the tions), and level 3 (two or more diet consistency re-
ratings or the videofluoroscopic examinations. strictions).
Daniels et al. developed a five-level severity
scale based on the MBS procedure: 0 (normal), 1 (mild) The next stage of development focused on objec-
with no more than intermittent evidence of trace pen- tively defining the characteristics of the impaired swal-
etration into the laryngeal vestibule with immediate low and determining how the dysphagia would impact
clearing, 2 (moderate) as consistent laryngeal penetra- the patients level of independence, nutrition, and diet
tion with vestibule stasis and/or 2 or fewer instances of recommendations. A careful review of 100 previous
aspiration with a single consistency, 3 (moderate MBS studies was conducted to determine which factors
severe) as consistent aspiration of a single viscosity, dictated nutritional status. Of the 100 reports reviewed,
and 4 (severe) as aspiration of more than one consis- 15% were NPO, 65% had recommendations for a modi-
tency [15]. The interrater reliability of this scale was fied diet, and 20% were allowed a normal diet as dictated
found to be 66%, and the intrarater reliability was 80%. by the factors of oral stage transfer, pharyngeal stage
The purpose of this study was to develop an eas- retention, and/or airway penetration/aspiration.
ily administered, seven-level functional scale that as-
signed severity with acceptable reliability based on re-
sults of the MBS procedure and allowed improved con- Oral Stage Transfer
sistency in recommendations for nutrition level, diet, and Logemann summarized the oral stage as involving in-
independence. tact labial musculature to prevent material from leaking
K.H. ONeil et al.: Dysphagia Outcome and Severity Scale 141

from the oral cavity, intact lingual movement to propel would impact that patients ability to tolerate any con-
the bolus posteriorly, and intact buccal musculature to sistency effectively. If that same patient was able to use
insure that material does not fall into the lateral sulci a strategy to eliminate aspiration with at least one con-
[16]. Patients in the present study were clinically judged sistency, oral intake might be possible with assistance.
on the degree of bolus loss or oral retention (after the The impact of that aspiration on nutrition, diet, and in-
swallow) and the patients ability to compensate with or dependence would be considered less severe. The sever-
without cueing. For example, if a patient is unable to ity of penetrationaspiration was based on retrospective
move a bolus posteriorly into the oral cavity or loses the report analysis and through the general framework pro-
entire bolus due to poor labial closure, that patient will posed by Rosenbek et al. in their study on the penetra-
have difficulty meeting nutritional needs and would be tionaspiration scale [13].
considered more severe. However, if that patient is able Once the scale was fully outlined incorporating
to use strategies, verbal cues, or positions to compensate all these factors, it was piloted for approximately 1
for that deficit and transfer the bolus through the oral month, with ongoing changes made until the final revi-
cavity effectively, that would be considered less severe sion was completed (Table 1).
but with different levels of assistance needed.

Subjects and Methods


Pharyngeal Stage Retention
The results of 135 consecutive patients in a 3-month period to undergo
Pharyngeal retention is defined as material that remains an MBS procedure at Hartford Hospital, representing a wide range of
in the pharynx (valleculae and/or pyriform sinuses) after acuity and diagnoses (Table 2), were examined. Neurological diag-
a swallow has been completed. As stated by Cherney et noses included stroke, neurosurgery, Parkinsons disease, dementia,
encephalopathy and traumatic brain injury, muscular dystrophy, etc.
al., residue may remain in the valleculae and/or pyri-
General medical/surgical diagnoses included gastrointestinal disorders
form sinuses; if particles fall into the airway, aspiration (gastrointestinal bleed, esophagi, small bowel obstruction, etc.), HIV,
may occur after the swallow reflex [11]. The impact of sepsis, renal and urological disorders, diabetes, dehydration, malnutri-
retention on severity of dysphagia was based on the rela- tion, all general surgery (with the exception of cardiac and neurologi-
tive amount of barium retained in the valleculae and/or cal), etc. Pulmonary patients included persons with pneumonia, chronic
obstructive pulmonary disease, asthma, respiratory failure, pleural ef-
pyriform sinuses (mild, moderate, or severe). Further-
fusions, etc. Cardiac patients included patients who had a myocardial
more, it considers the patients ability to either clear the infarction, open heart surgery, congestive heart failure, coronary artery
retention automatically with a re-swallow or clear re- disease, carotid endarterectomy, heart transplant, etc. (without neuro-
tained material with a re-swallow when cued (told to logical event). Ear, nose, and throat (ENT) diagnoses included laryn-
re-swallow). For example, if a patient swallows a bolus geal cancer, vocal cord paralysis, and polyps. Other diagnoses were
psychiatric.
but a significant amount is left in pharynx after the swal-
The subject group included 57 women and 78 men and was a
low and no attempts to clear the material is made even sample of acute care patients, outpatients, and acute rehabilitation pa-
with cues, the patients ability to maintain nutrition tients. The patients ages ranged from 21 to 95 years, with a mean age
safely is considered severely impaired. However, if that of 73 years. The DOSS was used to assign a severity level once the
same patient is able to clear the retention spontaneously objective assessment had been determined by the speech pathologist
and the radiologist. The videofluoroscopic swallowing assessments fol-
or with cued re-swallows or compensatory strategies, the
lowed hospital protocol adapted from Logemanns procedures [7]. A
impact of that retention is considered less severe. full medical history was obtained prior to examination, and an oral
motor/voice examination was completed. Patients were given barium in
thin, medium, thick, puree, and solid consistencies as per their ability
PenetrationAspiration to swallow. Review of the videotape was completed and documented
on a report form according to department protocol (Table 3).
Airway penetration is defined as material that enters the
Once the report was completed and severity assigned, a copy
airway into the laryngeal vestibule, above or to the level was made of the contents (Table 3) for each patient. This copy was
of the vocal cords. Aspiration is defined as material that randomly given to one of the three other trained speech pathologists
goes into the trachea, below the level of the vocal cords. who then blindly assigned severity level based on the DOSS. The report
These terms were defined in a similar way by Rosenbek was then given back to the original clinician for intrajudge rating after
a period of 24 weeks, and a severity level was blindly assigned based
et al. [13]. The following factors were considered in
on the contents presented in Table 3.
determining diet recommendations: the number of con-
sistencies penetrated or aspirated, the presence or ab-
sence of a reflexive and/or elicited cough to clear pen- Training
etration or aspiration, and the level to which the material
penetrated into the airway. If a patient aspirated on all All participating speech pathologists underwent training
consistencies and did not or could not cough to clear the in using the DOSS. Specific instruction in the guidelines
aspirated material, this was considered very severe and for use included careful attention to severity level head-
142 K.H. ONeil et al.: Dysphagia Outcome and Severity Scale

Table 1. Dysphagia outcome and severity scalefinal revision

Full per-oral nutrition (P.O): Normal diet

Level 7: Normal in all situations


Normal diet
No strategies or extra time needed
Level 6: Within functional limits/modified independence
Normal diet, functional swallow
Patient may have mild oral or pharyngeal delay, retention or trace epiglottal undercoating but independently and spontaneously
compensates/clears
May need extra time for meal
Have no aspiration or penetration across consistencies
Full P.O: Modified diet and/or independence

Level 5: Mild dysphagia: Distant supervision, may need one diet consistency restricted
May exhibit one or more of the following
Aspiration of thin liquids only but with strong reflexive cough to clear completely
Airway penetration midway to cords with one or more consistency or to cords with one consistency but clears spontaneously
Retention in pharynx that is cleared spontaneously
Mild oral dysphagia with reduced mastication and/or oral retention that is cleared spontaneously
Level 4: Mildmoderate dysphagia: Intermittent supervision/cueing, one or two consistencies restricted
May exhibit one or more of the following
Retention in pharynx cleared with cue
Retention in the oral cavity that is cleared with cue
Aspiration with one consistency, with weak or no reflexive cough
Or airway penetration to the level of the vocal cords with cough with two consistencies
Or airway penetration to the level of the vocal cords without cought with one consistency
Level 3: Moderate dysphagia: Total assist, supervision, or strategies, two or more diet consistencies restricted
May exhibit one or more of the following
Moderate retention in pharynx, cleared with cue
Moderate retention in oral cavity, cleared with cue
Airway penetration to the level of the vocal cords without cough with two or more consistencies
Or aspiration with two consistencies, with weak or no reflexive cough
Or aspiration with one consistency, no cough and airway penetration to cords with one, no cough
Nonoral nutrition necessary

Level 2: Moderately severe dysphagia: Maximum assistance or use of strategies with partial P.O. only (tolerates at least one consistency safely
with total use of strategies)
May exhibit one or more of the following
Severe retention in pharynx, unable to clear or needs multiple cues
Severe oral stage bolus loss or retention, unable to clear or needs multiple cues
Aspiration with two or more consistencies, no reflexive cough, weak volitional cough
Or aspiration with one or more consistency, no cough and airway penetration to cords with one or more consistency, no cough
Level 1: Severe dysphagia: NPO: Unable to tolerate any P.O. safely
May exhibit one or more of the following
Severe retention in pharynx, unable to clear
Severe oral stage bolus loss or retention, unable to clear
Silent aspiration with two or more consistencies, nonfunctional volitional cough
Or unable to achieve swallow

ings and discriminating factors to consider when decid- amount of supervision that is realistically available for
ing between levels (patients environment, premorbid that patient. For example, the speech pathologist can bet-
nutrition, cognition, acuity of dysphagia, current medical ter decide between level 2 (nonoral intake) and level 3
status). These factors are integral to a careful decision- (oral intake with total assistance for strategies) when
making process for level of nutrition, diet, and indepen- accurate and realistic consideration of possible supervi-
dence and were assessed by chart review, history intake sion is known. Premorbid nutrition is also very pertinent
with the patient, and clinical bedside evaluation. to making difficult decisions between recommending full
The patients environment is defined as the oral intake versus nonoral intake. A patients ability to
K.H. ONeil et al.: Dysphagia Outcome and Severity Scale 143

Table 2. Patient diagnoses

Diagnosis Neurological General medical/surgical Pulmonary Cardiac ENT Other

n (%) 81 (60) 32 (24) 10 (7) 8 (6) 3 (2) 1 (1)

Table 3. Report format

Medical summary: Current diet:


Mental status: AlertLethargicOrientedConfusedCooperativeUncooperativeFollows commands/spontaneously with cues
Does not follow commands

Thin Nectar Honey Puree/ Soft Hard


Oralmotor Intact Impaired Nonfunctional Phase liquid liquid liquid pudding solid solid

Swallow reflex Oral


Volitional cough Leakage L/R lip
Reflexive cough Poor bolus formation
Lip closure Poor bolus propulsion
Lateral tongue Retention L/R sulcus
Anterior tongue Poor velopharyngeal closure
Posterior tongue Pharyngeal
Mandible Delayed pharyngeal swallow
Voice Reduced laryngeal elevation
Dentition/dentures Reduced epiglottal tilt
Reduced pharyngeal peristalsis
Cricopharyngeal dysfunction
Retention valleculae
Spontaneously cleared
Cleared with cue
Unable to clear
Retention pyriform
Spontaneously cleared
Cleared with cue
Unable to clear
Aiway penetration
Midway to cords
To cords, spontaneous cough
To cords, no cough
Eliminated with compensatory strategy
Aspiration
Productive spontaneous cough
Nonproductive cough
No cough (silent)
Eliminated with compensatory strategy

maintain oral nutrition before dysphagia will only be- more conservative stance on a patient with multiple cur-
come more problematic with the onset of difficulty in rent medical concerns.
swallowing. Cognition also is important to consider Following verbal instruction in the guidelines for
when deciding whether a patient will quickly and spon- use of the DOSS, a peer review of videotaped MBS
taneously learn strategies (level 6) or need supervision studies with joint scorings was conducted. All discrep-
due to poor memory (level 5 or below). Acuity of dys- ancies in scoring were discussed and resolved.
phagia refers to how acute the swallowing problem is to
the patient, and current medical status refers to the rela- Results
tive acuity of the overall medical issues. These factors
are critical in considering the risks that are considered Results are presented in Tables 4 and 5 and outline the
with a given patient and may guide a clinician toward a different types of reliability established (interjudge or
144 K.H. ONeil et al.: Dysphagia Outcome and Severity Scale

between two judges and intrajudge or between two grad- Table 4. Interjudge reliability by judge pair
ings by a single judge). Table 6 shows the number of
12 13 14 Total
patients for each severity level and the reliability figures
for each severity level. Total rated 43 57 35 135
Of the 135 consecutive patients who underwent No. ratings agree 37 52 32 121
an MBS procedure, 10 (7%) were rated as severe and 17 Reliability % 86 91 91 90
Scores that differed
(12.6%) were rated as moderately severe by the initial by 1 (%) 6/6 (100) 5/5 (100) 2/3 (66) 13 (93)
rater; all required nonoral nutrition according to recom- Scores that differed
mendations. Twenty-one (15.6%) of the 135 patients had by 2 (%) 0 0 1/3 (33) 1 (7)
moderate dysphagia, 30 (22%) were rated as mild to
moderate, and 28 (21%) were considered to have mild
dysphagia; recommendations for these three groups al-
lowed full oral nutrition but with a restricted diet and can be used by trained clinicians to better describe se-
level of independence. A functional swallow was deter- verity level of dysphagia with excellent reliability and to
mined in 22 (16%) of the 135 patients, and seven (5%) make more consistent recommendations for nutrition,
were rated as normal; both groups were allowed a normal diet, and independence.
diet based on recommendations from the DOSS. (Ta- Scale development and use are founded on strong
ble 6). documentation of MBS results on a detailed report for-
On overall interrater reliability, both judges mat and training with discriminating factors critical to
agreed and assigned an exact match for 121 of 135 cases appropriate recommendations. These factors include the
(90%). The four judges constituted three judge pairs, and patients premorbid nutrition level, acuity of dysphagia,
the individual agreement between the two judges in each current medical status, environment, and cognition. Use
pair is outlined in Table 4. The scores that disagreed of this scale may improve and highlight clinical attention
were off by one level on the scale in 13 of 14 instances to important subtleties of assigning diagnosis and could
of error, and all were within two severity levels. As cited also improve communication between clinicians and al-
in Table 6, interjudge agreement was good for rating all low a smoother continuum of care for dysphagic patients
levels of the scale (82100%), with the highest concor- across settings. This improved consistency of documen-
dance on level 7/normal (100%), level 4/mildmoderate tation and recommendations would serve this area of our
(93%), level 6/within functional limits (91%), and level profession well in a time that demands larger scale stud-
1/severe (90%). ies of efficacy, efficiency, and outcome.
Total intrajudge reliability was 93% (125 of 135) However, the scale does not thoroughly define
when the four judges reassigned the same severity level each parameter (i.e., what constitutes mild retention)
on the second grading. Table 5 summarizes the pattern of and therefore requires subjective clinical determination
agreement for each individual judge. Reliability was usually based on clinical experience. A clearer definition
good across all levels of the scale (86100%). The sec- of what determines such parameters as severe aspira-
ond ratings that did not agree were off by only one se- tion or severe retention is also needed from future
verity level in six of nine cases, and all disagreements studies. Also, the present study assessed reliability by
were within two severity levels (Table 5). review of written report; therefore, reliability of the ac-
tual interpretation of the videotape and subsequent docu-
mentation was not determined. Further research is nec-
Discussion essary to determine the reliability of clinicians interpre-
tation and documentation of MBS results using more
The purpose of the present study was to develop a scale standardized report formats such as the one used in the
to rate the severity of dysphagia and functional level present study.
based on objective measures from the MBS procedure The DOSS may be an excellent and thorough
and to determine the reliability of the scale for an ac- alternative to currently available scales to describe
ceptable number of subjects. The scale was not intended functional dysphagia severity. Existing scales have re-
to determine reliability of the MBS procedure itself. It lied on too general and subjective descriptions per level,
was intended, however, to improve the consistency of have failed to encompass all important dysphagia issues,
documentation and recommendations across clinicians or have not presented acceptable levels of reliability.
and within individual clinicians, provide a basis for com- Both the Cherney et al. scale [11] and the ASHA scale
paring patients with each other and over time, and to [12] are 7-point severity scales that assign severity based
introduce a possible measure of functional outcomes in on nutritional and independence levels but do not
dysphagia. The present results indicate that the DOSS associate each level with patients dysphagia deficits
K.H. ONeil et al.: Dysphagia Outcome and Severity Scale 145

Table 5. Intrajudge reliability by judge

1 2 3 4 Total (all judges)

Total rated 73 20 27 15 135


No. ratings agree 71 17 24 13 125
Reliability % 97 85 89 87 93
Scores that differed by 1 (%) 1/2 (50) 2/3 (66) 3/3 (100) 0 6 (60)
Scores that differed by two (%) 1/2 (50) 1/3 (33) 0 2/2 (100) 4 (40)

Table 6. Number of patients and reliability by severity level References


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